Our Staff has compiled our research into a database of FINRA Broker Disclosures for Royal Alliance Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William Robert Slepcevich | 806137 | 3 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Lee Reynolds | 4299230 | 2 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Hugh James McGraw | 4598766 | 1 | 11/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Paul Charbonneau | 5739614 | 2 | 11/04/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Rice | 4196641 | 1 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Ann Dean | 5067215 | 1 | 10/14/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Conti | 6186990 | 1 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Lewis Jones | 2539111 | 4 | 09/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Lee Robare | 1057899 | 3 | 09/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 08/04/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |